Compliance Officer (Wealth Advisory) Bilingual (Spanish) Job at Ascendo Resources, Boca Raton, FL

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  • Ascendo Resources
  • Boca Raton, FL

Job Description

A well-established advisory firm in South Florida seeks a Risk Advisory Manager to join its Regulatory Compliance team based in Boca Raton . This group specializes in supporting broker-dealers, registered investment advisors (RIAs), and asset managers with compliance related to U.S. financial regulations, including FINRA and SEC requirements.

The ideal candidate is someone who has the following experience:

  • Lead and manage compliance assessments, operational reviews, and internal control evaluations
  • Analyze and test Anti-Money Laundering (AML) programs and broader compliance frameworks to identify risks and recommend enhancements
  • Translate technical regulatory issues into practical solutions for clients
  • Maintain and grow client relationships while supporting business development initiatives
  • Travel to client engagements as needed

Key Areas of Regulatory Focus:

  • Financial Industry Regulatory Authority (FINRA)
  • Securities and Exchange Commission (SEC)
  • DOL PTE 2020-02
  • U.S. Patriot Act
  • Bank Secrecy Act (BSA)
  • Office of Foreign Assets Control (OFAC)
  • Foreign Corrupt Practices Act (FCPA)

Qualifications:

  • 6–8 years of experience working with broker-dealers, investment advisors, or within a regulatory compliance setting
  • Bachelor’s degree in a relevant field
  • Solid understanding of financial regulations, including the Securities Acts of 1933 and 1934 and the Investment Adviser Act of 1940
  • Strong analytical skills and fluency in Microsoft Excel
  • Excellent communication skills, both written and verbal
  • Spanish language is required

Preferred Attributes:

  • Compliance-related certifications (e.g., CAMS, CRCM)
  • Availability for occasional overtime and travel

No licenses required

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